rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level
futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young
and administrative expenses In Q3/2017, Mana Patanakarn Co., Ltd., the real estate development company, had sales & promotion expenses to boost sales of condominium projects “Aspen Condo” Phase A. As a
Securities and Exchange Act B.E. 2535 (1992). The clarity of the terms would not only be useful for business operators and all parties involved but also boost investors’ confidence in trading activities
each. Vorapol added that ?Infrastructure trust will boost flexibility and facilitate fund raising for investment in infrastructure projects. Investors will have more alternative investment choices both